RegNet

Micro Foundations of Democratic Governance

Responsive Regulation


Regulation is the process by which we influence the flow of events. Within a framework of democratic governance, interference with the freedom of others needs to have some justification. Some acts of regulation seem very natural to us as when we hold a child's hand to cross the road. Other acts of regulation are far more controversial, as when government seeks to control business or incarcerate refugees in detention centres.

Whatever the domain of regulation, there is an argument for ensuring freedoms are respected and regulation is not too heavy-handed and contextually inappropriate. Responsive regulation aids in recognizing ill conceived and overly intrusive regulatory processes.

To regulate responsively in relation to a piece of legislation means to improve the community’s commitment to and compliance with the legislation:
(a) through processes that involve respectful treatment, deliberative dialogue to quell resistance, and genuine willingness to change and address weaknesses in the system;
(b) through fairly directing and fully explaining disapproval of non-compliant behaviour;
(c) through preparedness to administer sanctions; and
(d) with capacity to follow through to escalate regulatory intervention in the face of continuing non-compliance. 


Publications and Presentations

Braithwaite, V. (ed)
Responsive Regulation and Taxation, Special issue, Law and Policy  29(1) 2007. 

Braithwaite, V. & Braithwaite, J.
Democratic sentiment and cyclical markets in vice, British Journal of Criminology 46 2006:1110-1127.

Braithwaite, V.
Regulating responsively through local capacity building. Paper presented in the Regulatory Institutions Network Seminar Series, Australian National University, Canberra, 12 September 2006. 

Braithwaite, V.
Reintegrative Shaming and Compliance. Paper presented at the conference hosted by the Dutch Tax and Customs Administration & Netherlands Institute for the Study of Crime and Law Enforcement, Managing and Maintaining Compliance: Closing the Gap between Science and Practice, Leiden University, Netherlands, 9-11 April 2006.

Braithwaite, J.
Markets in Vice, Markets in Virtue. Federation Press, Sydney, and Oxford University Press, New York, 2005. 236 pp.

Braithwaite, J.
Meta risk management and responsive regulation of tax system integrity, Law and Policy 25(1) 2003: 1-16.

Braithwaite, V. (ed) 
Taxing Democracy: Understanding Tax Avoidance and Tax Evasion. Ashgate, Aldershot, 2003.

Braithwaite, V. & Braithwaite, J.
An evolving compliance model for tax enforcement. In N. Shover and P. Wright (eds) Crimes of Privilege. Readings in White Collar Crime. Oxford University Press, New York & Oxford, 2001: 405-419.

 

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Page last updated 2 January 2007
Feedback/comments/enquiries to Valerie.Braithwaite@anu.edu.au